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Thomas Wu is listed as Retired, taking some time off. based in Toronto, Ontario, Canada. AeroLeads shows a work email signal at rogers.com and a matched LinkedIn profile for Thomas Wu.
Thomas Wu previously worked as CFO at Integral Wealth Securities Ltd. and CFO & CCO at Integral Wealth Securities Ltd. Thomas Wu holds Chartered Accountant, Accounting, Audit & Tax from Institute Of Chartered Accounts Of Ontario.
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Chartered Accountant with over 35 years of experience in the Canadian financial service industry, specializing financial reporting and regulatory compliance. Also a qualified FINOP in the USA for FINRA requirements.
Listed skills include Equities, Investments, Capital Markets, Corporate Finance, and 12 others.
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IIROC qualified CFO. Responsible for accounting, finance and IIROC regulatory capital reporting. Dealing with regulators on financial matters. Review of new products and their capital impact on the firm.
Responsible for Accounting, Finance and Compliance of the company.
Responsible for overall regulatory compliance of the company.
CA
Responsible for all financial accounting and regulatory reporting for Canadian IIROC member firm and U.S. FINRA member firm. Responsible for monitoring of regulatory capital and dealings with the regulators. Overall responsibility for sales practices, trading and financial compliance of the companies.
Chief Financial Officer for Worldsource group of companies, which includes a mutual fund dealer, an investment dealer and a managing general agency insurance company. Overall responsible for all financial accounting and regulatory reporting for all the companies. Responsible for monitoring of regulatory capital and dealings with the MFDA and the IDA..
Responsible for all financial accounting, operations, regulatory compliance, systems, human resources and office administrations of an institutional IDA member firm. Primary role was to support the business needs in Canada as directed by the U.S. parent company. The company was mainly involved in proprietary trading, equity financing, and Canadian stock.
Business and financial manager for the Retail and Financial Service Divisions of a full service investment dealer. Responsibilities included identifying and implementing cost saving initiatives, monitoring the expenses of the divisions and the development of brokers’ compensation packages.
Overall responsibility for the financial integrity and sales compliance of Canadian investment dealers under the IDA's regulatory authority. Responsible for the Compliance Department of eleven professional staff to ensure minimum standards are met with respect to audit and examinations of dealers. Responsible for the development and implementation of.
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Thomas Wu is listed as Retired, taking some time off..
AeroLeads has found 1 work email signal at @rogers.com for Thomas Wu.
Thomas Wu is based in Toronto, Ontario, Canada.
Thomas Wu has worked for Integral Wealth Securities Ltd., Integral Wealth Securities Ltd, Coxswain Row Capital Corporation, Wellington West Capital Markets, and Worldsource Wealth Management Inc. And Subsidiaries.
You can use AeroLeads to view verified contact signals for Thomas Wu, including work email, phone, and LinkedIn data when available.
Thomas Wu holds Chartered Accountant, Accounting, Audit & Tax from Institute Of Chartered Accounts Of Ontario.
Thomas Wu is listed with skills including Equities, Investments, Capital Markets, Corporate Finance, Securities, Financial Analysis, Financial Modeling, and Due Diligence.
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